发展中国家对华出口、竞争效应与中国企业专利行为  

Exports to China from Developing Countries,Competition Effects and Chinese Firms’Patenting Behavior

作　　者：杨珍增[1] 杨晓亮 金华 YANG Zhenzeng;YANG Xiaoliang;JIN Hua

机构地区：[1]天津财经大学经济学院

出　　处：《国际贸易问题》2022年第6期106-121,共16页Journal of International Trade

基　　金：国家社会科学基金一般项目“基于新竞争优势的中国制造业全球价值链构建战略研究”(20BGJ025)。

摘　　要：本文基于企业专利数据的经验研究发现,发展中国家对华出口显著促进了中国企业专利数量提高。企业、行业和国家层面的证据表明,这种促进作用是通过竞争效应实现的。首先,低成本进口竞争会导致中国企业规模收缩,迫使企业将资源集中于核心产品生产;其次,低成本进口竞争会迫使低生产率企业退出市场,导致行业集中度下降,行业生产率分散度和加成率分散度下降;最后,与中国出口结构相似的发展中国家对华出口的创新促进效应更强。扩展研究发现,发展中国家对华出口对中国企业创新的影响还有以下两个特点:一是对扩展边际和集约边际都有显著的促进作用,二是中间产品、最终产品和专利密集型行业进口的影响尤为显著。本文的研究结论能够为推动形成全面开放新格局,扩大进口,促进进口来源地多元化等政策取向以及自主创新政策制定提供新的经验证据支持。Based on an empirical study using the data of firms’patents,this paper finds that imports from developing countries significantly increase the quantity of Chinese firms’patents.Evidence at firm,sector and country levels suggests that the positive impact is achieved through competition effects.First,low-cost import competition causes Chinese firms to shrink in size and concentrate resources on core products.Second,low-cost import competition forces low-productivity firms to exit,resulting in a decrease in industry concentration,productivity dispersion and mark-up dispersion.Finally,imports from developing countries with similar export structure to China have stronger promoting effect on innovation.According to the extended research,the impact of imports from developing countries on Chinese firms’innovation has two characteristics:the first one is that imports from developing countries have significant positive effects on both extensive and intensive margins of Chinese firms’patenting behavior;and the second one is that the positive impact is more prominent for imports of intermediate products,final products and patent-intensive industries.Our conclusion provides new empirical evidence which supports policies concerning forming a new pattern of comprehensive opening up,expanding imports,promoting the diversification of import source countries,as well as promoting independent innovation.

关 键 词：发展中国家 进口 竞争效应 创新 专利行为 

分 类 号：F742[经济管理—国际贸易]